Charles M. Moore

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CRD#: 2052624

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Charles M Moore, CFP®, who also goes by Charles Martin Moore, Marty Moore, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1990. Charles had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Biography

Marty is devoted to helping clients make good, sound financial decisions for today and to planning for a successful financial future. He is also committed to advancing the level of integrity and proficiency within the financial planning profession. In 2003, he served as a hearing panel volunteer for the Certified Financial Planner Board of Professional Review in Denver, Colorado. The Board of Professional Review is responsible for interpreting and applying the Code of Ethics and Professional Responsibility for all CFP® professionals. To further his knowledge and to educate future Certified Financial Planners™, Marty has served as an adjunct faculty member for the University of North Carolina Charlotte in the university’s CFP® instructional program.

Question & Answer

What are your service offerings?

Divorce Planning

Comprehensive Financial Planni...

Retirement Planning

Life Transitions

Estate Planning

Investment Planning

What is your minimum asset requirement?

250K

Are you a "fiduciary"?

Aliases

Charles Martin Moore | Marty Moore

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)11/12/2021 - WEALTH ENHANCEMENT GROUP - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)11/12/2021 - FINRA Arbitrator - Non - Inv Rel - Washington, DC - Start: 2016 3) 12/16/2021 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - DBA: (Hybrid) Wealth Enhancement Advisory Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 11/1/2021 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Wealth Enhancement Advisory Services, an independent investment advisor firm. I started this business activity in 11/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Past

January 20, 2022 - December 31, 2024

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

CRD#: 130139

PLYMOUTH, MN

Past

December 1, 2021 - December 31, 2024

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

Charlotte, NC

Past

November 30, 2021 - January 9, 2025

LPL FINANCIAL LLC

CRD#: 6413

CHARLOTTE, NC

Past

January 5, 2005 - December 8, 2021

CARROLL FINANCIAL ASSOCIATES INC

RIA

CRD#: 105427

CHARLOTTE, NC

Past

February 3, 2003 - December 31, 2004

TRICAPITAL WEALTH MANAGEMENT, INC.

RIA

CRD#: 118788

CHARLOTTE, NC

Past

February 24, 2000 - December 31, 2002

TRICAPITAL WEALTH MANAGEMENT, INC.

RIA

CRD#: 118788

CHARLOTTE, NC

Past

July 18, 1994 - December 3, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CHARLOTTE, NC

Past

August 23, 1991 - July 18, 1994

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

April 24, 1990 - July 3, 1991

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 4/27/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/21/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/27/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/2002

General Securities Principal Examination

Current Firm

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

CRD#: 130139 / SEC#: , 8-66305

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

505 N Highway 169 Suite 900, Plymouth, MN 55441

Mailing Address

505 N Highway 169 Suite 900, Plymouth, MN 55441

Phone number

(763) 417-1700

Established

Minnesota since 06/02/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
WEALTH ENHANCEMENT GROUP, LLC	OWNER
CAHN, JAMES LOREN	VICE PRESIDENT	6052512
CAIN, STEPHANIE M	HEAD OF SUPERVISION	4081085
CLARK, LISA LYNN	OPERATIONS OFFICER	2271616
DEKKO, JEFFREY THOMAS HAROLD	VICE PRESIDENT	4648018
DIECKHAUS, JOSEPH ALAN	CHIEF COMPLIANCE OFFICER	5374613
FURCHT, ELIZABETH ANN	SECRETARY	5778785
WINDORSKI, KELLY JOSEPH	CHIEF MANAGER AND CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, TREASURER, AND FINANCIAL OPERATIONS PRINCIPAL	3211118

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

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Advisor Monitoring

Firm Stability Insights

Charles M. Moore

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

LPL FINANCIAL LLC

CARROLL FINANCIAL ASSOCIATES INC

TRICAPITAL WEALTH MANAGEMENT, INC.

TRICAPITAL WEALTH MANAGEMENT, INC.

CETERA WEALTH SERVICES, LLC

KEOGLER, MORGAN & COMPANY, INC.

KEOGLER, MORGAN & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/1990

SIE

Date: 10/1/2018

Series 7

Date: 4/21/1990

Series 51

Date: 3/27/2003

Series 24

Date: 2/13/2002

Current Firm

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

TRUST BUT VERIFY

Contact information

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